中国海上贸易发展战略研究

【作者】 魏书杰；

【导师】 刘德喜；

【作者基本信息】 中共中央党校 ， 国际政治， 2009， 博士

【摘要】 本文由导论、正文和结束语三部分组成。导论部分介绍了本篇论文的选题依据及意义、文献综述、研究方法、创新之处以及研究难点和存在的问题。正文部分从第一章到第四章:第一章是国外发展海上贸易的理论和战略。本章由三节组成:第一节首先明确了海上贸易的定义,即通过海洋运输进行的贸易;然后从海上贸易的成本、时间、运量、范围和风险共五个方面分析了海上贸易的特点,指出海上贸易的成本较低,时间较长,运量较大,范围较广,风险较大。第二节总结和分析了马汉、戈尔什科夫和莱曼关于发展海上贸易的重要理论,指明了他们各自理论的重要特点。第三节重点阐述了英国、美国和苏联(俄罗斯)发展海上贸易的战略,同时也分析了葡萄牙、西班牙、荷兰、法国、德国和日本发展海上贸易战略,以便在明确海上贸易的概念与特点的基础上说明国外发展海上贸易的概况。第二章是中国海上贸易的历史与现状。本章由两节组成:第一节首先对古代和近代中国在发展海上贸易方面的亮点和教训进行梳理和总结,在此基础上指出海上贸易在古代中国自然经济占绝对主体地位的时期尽管十分繁荣但仍处于辅助地位,而在近代中国饱受屈辱的时期则处于一个非常被动的地位。第二节首先分析了新中国成立以来我国在整体上对海洋的认识不断深化的过程,然后把新中国的海上贸易政策分为计划管制的海上贸易政策时期和市场放活的海上贸易政策时期两个阶段进行分析,并且在此基础上阐明了改革开放与海上贸易的巨大成就,用可靠的数据说明了海上贸易在社会主义市场经济中已经占有相当重要的地位,以区别于先前的辅助和被动地位。第三章是中国发展海上贸易的意义与条件。本章由三节组成:第一节是中国发展海上贸易的重要意义,从发展海上贸易有利于完善我国社会主义市场经济体制,有利于推进东部率先实现现代化、提高其经济辐射力以及有利于转变对外贸易增长方式、促进经济又好又快发展三个方面论述了发展海上贸易有利于推动经济发展;从作为发展海上贸易所必不可少的“第四只臂膀”——海运船队的军事替代性和发展海上贸易所必然产生的与其他国家和地区的合作以及发展海上贸易能够充分利用国际国内两个市场两种资源从而可以有效地为我国的经济发展补给所需三个方面论述了发展海上贸易有利于维护国家安全;从海上贸易的覆盖范围十分广泛从而能够促进不同地域、不同国家、不同种族的人们之间的交往以便实现各方文化的交流以及海上贸易本身具有很强的进取性从而有利于克服农耕文化基因中的某些惰性两个方面论述了发展海上贸易有利于促进文化交流并进而指出只有发展海上贸易,才能避免闭门造车,以贸易促交流,以交流促创新,以创新促贸易,形成良性循环。第二节是中国发展海上贸易的有利条件,从传播方式的形象化使得海洋知识更加容易被人们接受,我国历史上由闭关锁国导致的落后挨打的惨痛教训令人们难以忘却以及国家参与国际海洋事务的程度大幅提升以及一系列政策文件的颁布三个方面论述了走向海洋为越来越多的人所认同,并指出人的因素是关键因素,越来越多的人对走向海洋的认同是中国发展海上贸易的诸多有利条件中最为关键的一点;从不断解放的思想和国家颁布的一系列有利于对外开放的政策文件以及制定和修改的对外贸易法律等多个方面论述了我国发展海上贸易拥有的不断开放的政策环境;从根据《联合国海洋法公约》所拥有的300万平方公里左右的蓝色国土以及国家在不遗余力加强单个港口建设力度努力实现“一枝独秀”的同时,还竭尽全力增强全国各个港口布局的合理性以便实现环渤海、长三角、东南沿海、珠三角和西南沿海港口群“满园春色”的角度论述了我国拥有广阔的可管辖海域与众多优良海港;从我国已经成为世界第三大贸易国、世界海运需求量位居世界之首这一现实出发并以石油、天然气和铁矿石这三种战略物资的运输需求为例证论述了我国海上货物需求将持续增长,从而为我国海上贸易的发展提供了强大的动力;从以《联合国海洋法公约》为基础的国际法和包括《领海及毗连区法》、《专属经济区和大陆架法》、《海商法》等在内的一系列国内法的颁布和实施以及其他不断完善的法律制度,为发展海上贸易提供了法律保障。第三节是中国发展海上贸易的不利条件,通过古代中国对待海洋问题有四个基本特点,即轻视经略海洋、航海技术先进而航海的经济效益低下、视大海为天然的屏障以及视海洋资源为他人之物和海上通道为他人之路论述和印证了我国重农抑商、重陆轻海的传统思维;从海洋领土争端不利于确保海上贸易航线顺畅、提高国家航海能力,不利于我国充分利用其所蕴藏的丰富的资源以丰富贸易的内涵,不利于我国与相关国家开展海上贸易三个方面论述了海洋领土争端尚未解决对我国发展海上贸易的制约作用;主要从我国目前海洋通道控制力不够和海洋救助力量薄弱两个方面论述了我国海运安全隐患较多的现实;通过对与我国海上贸易密切相关的海上邻国日本、当今世界的海上霸权国家以及在印度洋这一攸关我国海上贸易发展的重要海域占有优势的印度三个国家的分析论述了我国发展海上贸易所面临的海洋强国的战略牵制。第四章是中国发展海上贸易的战略构想。本章是本文的重点部分,共有三节内容构成:第一节是着力构建海洋战略,引领海上贸易发展。本节首先从构建海洋战略是发展海上贸易的必然要求和发展海上贸易是构建海洋战略的重要内容两个方面阐明了构建海洋战略与发展海上贸易的关系。然后,从国家海洋事业发展规划、国家海洋科学和技术发展规划、促进海洋经济发展的战略规划、海洋资源开发利用战略规划、海洋环境保护战略规划和海洋公益事业发展规划六个方面梳理了我国海洋战略的规划体系并且在此基础上指出了我国现有海洋战略规划体系的一些不足,例如,它们相对独立,缺乏一个共同的、明确的、总体的目标,缺少能够涵盖各个领域的能够协调各方面的指导原则以及可能的实现路径。为此,笔者根据构成战略的三个相互影响、相互制约的基本要素,即战略主体所要追求的目标、战略主体为达到目标而实行的原则以及战略主体在追求目标过程中所选择的路径提出了我国海洋战略的基本设想。从当今时代的主题、海洋权益的划分过程、海洋霸权国家的兴衰成败、中国对国际社会的一贯承诺和政策主张以及中国处理国际事务的法律基础五个方面论述了我国海洋战略的目标应该是建设不称霸的海洋强国;围绕这个目标,本文指出中国的海洋战略必须要坚持和平原则、发展原则和法治原则。其中,和平原则主要是外向的,发展原则主要是内向的,不管是外向的和平原则还是内向的发展原则都应该依法实施。为此,需要妥善处理海洋领土争端、适度发展海上力量以落实和平原则,需要加强海洋教育、强化舆论宣传以落实发展原则,需要推动“海洋入宪”、完善配套立法以落实法治原则。第二节是遵循世贸组织规则,推进海上贸易发展。本节首先从加入世界贸易组织促进了海上贸易的发展和中国发展海上贸易必须遵循世界贸易组织规则两个方面论述了中国加入世界贸易组织与发展海上贸易的关系,然后从大力推进世界航运中心建设、实行有条件的最惠国待遇原则和循序渐进的国民待遇原则、遵循逐步自由化原则、着力提升法律法规透明度和提高船舶运输的性能与管理的效率五个方面阐明了在世界贸易组织框架下我国发展海上贸易的策略。第三节是引入特别仲裁制度,规范海上贸易发展。鉴于我国尚未承认特别仲裁制度致使国人对这一制度不是十分熟悉,本节首先明确和辨析了特别仲裁制度的含义,从仲裁程序、仲裁员的选任、仲裁费用和仲裁的时间四个方面论述了特别仲裁制度与我国现有的机构仲裁制度的区别并从历史和文化的角度论述了我国缺失特别仲裁制度的原因进而以特别仲裁制度十分成熟的英国为例论证了我国引入特别仲裁制度的必要性。然后,从仲裁协议的要件与有效性、仲裁员的回避、仲裁员的费用、专家证据和缺席裁决五个方面阐明了我国引入特别仲裁制度之后需要做得相关配套法律调整建议以期望能够进一步规范海上贸易的发展。结束语部分在分析当今国际形势特征的基础上指出面对经济全球化的潮流,中国只有实行对外开放,才能大有作为;中国只有一如既往地发展海上贸易,才能有大作为。发展海上贸易虽然机遇与挑战并存,但是机遇大于挑战。只要我们充分认识到国家之间在发展海上贸易过程中的相互依赖性,以建设不称霸的海洋强国为目标并本着和平、发展与法治原则构建海洋战略,遵循世界贸易组织的制度规则,完善发展海上贸易的法律规范,必将会有力地促进我国海上贸易的发展,使中国更好地融入世界,使世界更加深入地了解和接受中国。更多还原

【Abstract】 This article consists of three parts:the introduction,the main body and the conclusion.The introduction part exerts light on the reasons for choosing this topic, the comprehensive summarization of references,the innovation,the difficulties and some problems involved.The main body starts from the first chapter to the fourth chapter.The first chapter is theory and strategy regarding development of sea trade in foreign countries which is composed by three sections:the first section gives a clear definition of sea trade,that is,the trade through sea transportation;then,it illustrates some features of sea trade from such aspects as cost,time,volume,range and risks in a bid to give a whole picture of sea trade being characteristic of lower cost,longer time,larger volume, wider range and more risks.The second section summarizes and analyses important theories concerning sea trade.The third section explains and argues the strategies of Britain,America and Soviet Union(Russia) with more emphasis and counterparts of Portugal,Spain,Holland,France,Germany and Japan so as to show the general situation of foreign development of sea trade.The second chapter is the history and current situation of China’s sea trade.This chapter consists of two sections and the first section summarizes the experience and lessons of development of sea trade in ancient and modern China,to the effect that, sea trade still is an auxiliary in ancient China though sea trade ever flourished in some time;in modern China,it becomes very passive when China is subject to humiliation. The second section first analyses the process of China’s increasingly deepening understanding of sea and then it divides policy as to sea trade into two parts:the first part is sea trade policy of plan and control while the second part is sea trade of market and flexibility,on the basis of which it shows significant achievement derived from Reform and Opening up Policy in order to illustrate sea trade has become an part bearing significant importance to socialist market economy.The third chapter is significance and conditions of China’s development of sea trade.This chapter consists of three sections:the first section is the significance of China’s development of sea trade which is exhibited in three aspects:the first aspect refers to economy,that is,the development of sea trade is conducive to progress and improvement of our socialist market economy,to realization of modernization in east regions in advance so as to raise its economic radiation,and to the transformation of development manner to promote sound and rapid development of economy.The second aspect refers to security,that is,sea trade ships are considered as the indispensible "Fourth Arm" which features military supplementation;sea trade is bound to generate cooperation with other countries and regions;sea trade is beneficial to utilization of domestic and international market and resources so as to provide with materials needed.The third aspect refers to culture,that is,extensive range of sea trade can help people of different areas,different countries,and different races to conduct exchanges;sea trade features pioneering spirit and can overcome some demerits included in our agriculture civilization and it goes further to point out only development of sea trade can avoid hiding ourselves always indoors and create benign circle for the mutual improvement of trade,exchange and innovation.The second section is favorable conditions to China’s development of sea trade.More and more people have realized participation into the development of sea,which is considered as the most important factor to push forward China’s development of sea trade,is unavoidable in three ways:the first is visualization of broadcast is becoming easier for people to accept sea knowledge;the second is the misery memory in modern China is unforgettable to our Chinese people;the third is China is increasingly engaged into more and more international activities regarding sea affairs and many relevant documents have been published.Increasingly open mind,policy and documents promoting opening up and China’s revised Foreign Trade Law all lay a good foundation for the optimizing environment of openness.China boosts large sea territory and many favorable ports,because based on the UN Convention on the law of sea,China enjoys territory of 300 square kilometers and China spare no efforts to develop important ports on one hand,and try its best to increase the rationality of the layout of ports on the other.Given China has become the country with the third largest trade volume and the largest demand of goods transported from sea,goods transported from sea will undergo sustainable growth and will function as impetus to the development of sea trade.International laws based on UN Convention on the law of sea and domestic laws including Law of territorial sea and contiguous zone,Law of exclusive economic zone and continental shelf and Maritime commerce law as well as many other being updated laws are all legal guarantees to sound sea trade development.The third section is unfavorable conditions of China’s development of sea trade.Our traditional thinking of putting land farm at the first place while curbing commerce and land superior to sea is to a large extent an obstacle to the development of sea trade currently;conflicts of sea territory is harmful to smooth sea trade line,to enrichment of trade by using of resources hidden in the relevant areas and to the conduct of sea trade between China and other related countries.China faces great challenges of weak control of sea trade line and maritime rescue.What is more,many sea powers such as America,Japan and India function well to hurdle China’s development.The fourth chapter is the strategic concept of China’s development of sea trade which is the very emphasis of this article.This chapter consists of three sections:the first section is trying to construct sea strategy in order to lead the development of sea trade.This section illustrates the relation between the construction of sea strategy and development of sea trade from two aspects,that is,construction of sea strategy is the prerequisite of development of sea trade and development of sea trade is the important part of the construction of sea strategy.Then,it summarizes the current planning system from six aspects,that is,maritime engineering development plan,maritime science and technology development plan,promotion of maritime economy plan, exploitation of sea resources plan,sea environmental protection plan and maritime public welfare development plan.The system has such defects as lack of a common, clear and general goal,lack of guiding principles covering all fields and lack of possible method to realize the aforesaid goal.Therefore,the author from such mutual affecting factors as goal,principles and method points out the basic concept of sea strategy.The goal is to build a sea power without seeking hegemony on the basis of five aspects,that is,the themes of our times,the vicissitudes of sea powers,China’s persistent commitment to the world,the legal foundation of China’s handling with international affairs.Circling this goal,this article points out China’s sea strategy must follow the principles of peace,development and law.Therefore,we need to appropriately handle conflicts of sea territory and moderately develop sea power to fulfill the principle of peace;we need to strengthen maritime education and intensify maritime radiation to fulfill the principle of development;we need to fulfill the principle of law by adding the development of sea to our constitution and improve simultaneous laws.The second section is to abide by the rule of World Trade Organization to promote the development of sea trade.This section first illustrates the relation between China’s accession to WTO and Chin’s development of sea trade from two aspects,that is,China’s accession to WTO accelerates China’s development of sea trade and China’s development of sea trade must stick to the rules of WTO.Then, it moves on to illustrate measures to develop sea trade under the framework of WTO by intensifying the efforts to build up world shipping center,adopting most favored nation treatment principle and national treatment principle with some prerequisites, abiding by the principle of gradual liberalization,enhancing the transparency of laws and regulations and improving the performance and efficiency of ships.The third section is to introduce ad hoc arbitration to regulate the development of sea trade. Given our country has not such a rule and is not familiar with it,this section first shows a clear definition of ad hoc arbitration and explains differences with institutional arbitration from such aspects as process,the choosing of arbitrators,the cost and time.What is more,this section also gives the reasons why our country is lack of such kind of rule from the historic and cultural perspectives.Then,this section points out some suggestion on the improvement of simultaneous laws from such aspects as the effectiveness of arbitration agreement,the withdraw of arbitrator,the cost of arbitrator,expert evidence and default award in a bid to further standardize the development of sea trade.On the basis of analysis of international situation,the conclusion part points out only China persists in opening up can she score new and great achievement;only China develop sea trade can she be crowned with big success while facing economic globalization.Though challenges and opportunities co-exist,the latter is superior to the former.So long as we are fully aware of the mutual dependency regarding development of sea trade,with building up sea power without seeking hegemony as our goal,we can push forward the development of sea trade significantly to help China get integrated with the whole world and help the world understand and accept China better by constructing sea strategy on the basis of principles of peace, development and law,by adhering to WTO rules and by improving laws and regulations concerning development of sea trade.更多还原